NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Frank K. and Yuk Lung Wong 98-01705 Name of Respondents E*Trade Securities, Inc. REPRESENTATION Claimants Frank K. Wong and Yuk Lung Wong (referred to collectively as "Claimants") appeared pro se. Respondents E*Trade Securities, Inc. ("E*Trade") was represented by Bob Salvador, Compliance Analyst at E*Trade Securities, Inc. located in Palo Alto, Califo

AWARD NASD Regulation, Inc. CASE: 98-01'691 Olde Discount Corporation, claimant vs. Ralph L Hermann, respondent. ATTORNEYS: For claimant, Olde Discount Corporation, appeared in-house counsel, Matthew J. Boitos, Esq., Detroit, MI Respondent Ralph J. Hermann did not respond to the Statement of Claim. DATE FILED: 5/7/1998 CASE SUMMARY: Claimant alleged that through its own error, prior to transferring funds of respondent to Charles Schwab, responde

STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant LT Lawrence & Co., Inc. and 98-01688 Name of Respondent Royce Edward Tolley REPRESENTATION OF PARTIES LT Lawrence & Co.. Inc. ("Claimant") was represented by James S. Coleman. Royce Edward Tolley ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed on or about May 7,1998. Submission Agreement of Claimant LT La

JUN-03-93 16=29 FEOM^NASD REGULATION ID, PACE 2X16 AWAJRD NASD REGULATION, DSC. In the Matter of the Arbitration Between Name of Claimant DavidJ.Ras DonnaLynn Ras, JTWROS Case Number and 98-01679 Name of Respondent Steven M. Nelson Paradise Valley Securities, Inc. REPRESENTATION OF PARTIES David J. Ras and Donna Lynn Ras, JTWROS ("Claimants") appeared pro se. For Steven M. Nelson ("Nelson") appeared John L. Stoss, Esq., of th

APR. 26.1999 9:5afiM NO. 634 P. 18 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert H. Meichner, M.D., PC 98-01677 Names ftf Respondents, Gruntal&Co., L.L.C. Mark Langley REPRESENTATION For Claimant: David P. Shepherd, Esq., Fairhope Alabama. For Respondents; Evan J. Charkes, Assistant General Counsel, Gruntal & Co., L.L.C. ("Grunta!"). CASE INFORMATION Statement of Claim filed: May

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Olivia Burnette Driggers and Robert A. Driggers, (Claimants) vs. Martin Vulliez and Robb, Peck, McCooey Clearing Corporation, (Respondents). Case Number: 98-01675 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Olivia Bumette Driggers and Robert A. Driggers, hereinafter collectively referred to as "Claimants": Thomas J. Romans, Esq., Hackensack, New Jersey. R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03038 Leonard Ford, Claimant vs. E*Trade Securities, Inc.,, Respondent. ATTORNEYS: Claimant appeared Pro Se, LaGrange, KY. For Respondent appeared Lori Davis, Compliance Officer, Palo Alto, CA. DATE FILED: July 18, 2000 CASE SUMMARY: Claimant alleged that respondent froze his account without notice. Claimant further alleged that respondent nullified the Power of Attorney agreement

NASD DISPUTE RESOLUTION AWARD NASD D1SPITE RESOLUTION. INC. CASE: 00-00335 E. Dwayne Hepler, Claimant vs. Cutter & Co., Inc., Wally Obremski and B & B Financial Planning,, Respondents. ATTORNEYS: Claimant, E. Dwayne Hepler, ("Claimant"), appeared Pro Se., St. Peters, MO. Respondent. Walter J. Obremski, ("Obremski"), appeared Pro Se., Chesterfield, MO. Respondent, Cutter & Co., Inc., ("Cutter"), appeared through its Vice President, Deborah Castiglion

AWARD NASD Regulation, Inc. CASE: #98-01671 Ameritrade, Inc., claimant vs. Bernard DeMichelis, respondent. ATTORNEYS: For claimant Ameritrade, Inc., appeared in-house counsel, James J. Vihstadt, Esq. Omaha, NE Respondent, Bernard DeMichelis, appeared Pro Se., Aurora, CO DATE FILED: 05/05/98 CASE SUMMARY: Claimant alleged that respondent's activities in his margin account resulted in a margin call, sale of his OEW July 900 option contracts and, s

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 98-01668 Name of Respondent Steven Bader REPRESENTATION For Claimant: Joseph Rosa, Esq., Assistant Vice-President, Assistant General Counsel, Prudential Securities, Inc. ("Prudential"), New York, New York. Respondent appeared pro se. CASE INFORMATION Statement of Claim filed: May 1, 1998. Claimant's Submission Agreeme